“Altyn Bank” JSC (Sabsidiary Bank of China Citic Bank Corporation Limited) (renamed from “Altyn Bank” JSC (Sabsidiary Bank of JSC “Halyk Bank”))
Second tier banks
07.07.2011
668/120/732
Limited enforcement action
Commitment letter
The nature of a breach:
Date of performance:
25.07.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
«ForteBank», JSC
Second tier banks
08.07.2011
663/110/502
Limited enforcement action
Written prescription
The nature of a breach:
Date of performance:
01.08.2011
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Alliance Bank", JSC
Second tier banks
08.07.2011
663/110/502
Limited enforcement action
Written prescription
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan, written order was issued to the bank for violation of the maximum exposure to non-related party with bank conglomerate ratio (k3).
Date of performance:
01.08.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №14-2/858629.07.11, №12-1/1215К 01.08.11)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Citibank Kazakhstan", JSC
Second tier banks
11.07.2011
663/207/537
Limited enforcement action
Written warning
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan, written notification was issued to the bank for violation of the Instructions "Оn requirements of risk management and internal control systems in tier-two banks", approved by the Resolution of the Agency's Board dated September 30, 2005, #359.
Статья/пункты НПА, Статья КоАП:
Note:
N/A
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
JSC «Home Credit Bank» (renamed from «Home Credit and Finance Bank» Subsidiary Bank Joint Stock Company)
Second tier banks
11.07.2011
663/207/526
Limited enforcement action
Written prescription
The nature of a breach:
1. As per Article 46 of the Banking Law of the Republic of Kazakhstan, written order was issued to the bank for violation of ratio of term currency liquidity (k4-4).
Date of performance:
29.07.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter № 65387 of 26.07.2011)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazkommertsbank", JSC
Second tier banks
15.07.2011
17
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
75600
The nature of a breach:
1. administrative sanction was applied due to the fact that the Company failed to perform its duties to indicate rate of remuneration in its accurate, annual, effective, measured calculation in the contracts concluded with the clients
Date of performance:
15.07.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 12
- Of Administrative Violations Code of the Republic of Kazakhstan
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
«Lancaster Invest», JCS
Portofolio Manager
08.02.2012
664/117/677
Limited enforcement action
Written agreement
The nature of a breach:
1. With respect to the violation of subparagraph 3) of paragraph 7 of Article 37 of the Law "On Investment Funds"|
Date of performance:
31.01.2013
Статья/пункты НПА, Статья КоАП:
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"First Heartland Securities", JSC
Portofolio Manager
23.02.2012
12
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
323 600тг.
The nature of a breach:
Статья/пункты НПА, Статья КоАП:
1.
Статья: 195
-
Type of Enactments
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Kazkommertsbank", JSC
Second tier banks
19.07.2011
665/211/402
Limited enforcement action
Commitment letter
The nature of a breach:
1. In accordance with article 46 of the Law on banks of the RK, the letter of commitment was requested from the Bank, for non-conformity with the requirements of the regulation of the Board of Agency as of 28 August 2009, №196 "About the establishment of minimal size of reserve capital of second-tier banks"
Date of performance:
29.07.2011
Статья/пункты НПА, Статья КоАП:
Note:
Implemented (letter №16586 of 27.07.11)
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
"Credit Altyn Bank" JSC
Second tier banks
20.07.2011
18
Sanctions and other administrative penalties
Fine imposed under administrative law
Punishment awarded:
122100
The nature of a breach:
1. Administrative sanction was applied due to the fact that the Bank concluded the deals with violation of banking legislation
Date of performance:
20.07.2011
Статья/пункты НПА, Статья КоАП:
1.
Статья: 168-2
Пункт: 5
- Of Administrative Violations Code of the Republic of Kazakhstan
Type of Enactments
1. Concerning regulation of financial sector
Name of Regional Branch of National Bank of Kazakhstan / Department:
